Broschyrnamns exempel. för en liten undertext Statement. Yta för bild. Denna yta för rubrik vid behov. Edition 09/12/2012

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1 Yta Network för en liten undertext Statement 2014 Edition 09/12/2012 Chapter 4 Capacity Allocation Yta för bild Broschyrnamns exempel Denna yta för rubrik vid behov

2 Updates This edition contains reviews as described below, and replaces earlier editions. Update Implemented Original edition 09/12/2012 Table of Contents Network Statement 2014 Chapter 4 4 Capacity Allocation Introduction Description of process Application for capacity Ad hoc applications Application for capacity at operational sites Schedule for path requests and allocation process Capacity prerequisites Schedule for working Timetable Schedule for application outside the Timetabling process (ad hoc) Allocation process Coordination process Dispute resolution process Congested infrastructure - definition, priority criteria and process Impact of framework agreements Capacity analysis Capacity reinforcement plan Established the Timetable Allocation of capacity for maintenance, renewal and enhancements Process Allocated capacity that is not used Exceptional transports and dangerous goods Capacity for exceptional transports Train paths with dangerous goods Specific measures in the event of disturbance Principles Operational regulation Foreseen problems Unforeseen problems Allocation of capacity for service facilities... 14

3 4 Capacity Allocation 4.1 Introduction In this chapter the Swedish Transport Administration's process for allocation of capacity is described. Capacity refers to services, in accordance with sections 5.2 and 5.3, as well as access to the railway network for track work. 4.2 Description of process If an application applies to capacity on more than one infrastructure manager's railway network, it is sufficient to submit an application to just one of the managers. An entity that intends to apply for track capacity for a long-term arrangement, see section 5.3.7, should first contact the Swedish Transport Administration and describe the requirements. The Swedish Transport Administration can then suggest suitable stations and tracks. Contact details, see Appendix Application for capacity An application for capacity is made via the e-service on the Swedish Transport Administration's website, where instructions can be found (applicant requires authorisation). See below for exceptions. Appendix 4.3 contains traffic calendars on which the application should be based. Addresses for application, see Appendix 1.1. Schedule for allocation process, see section 4.3. With regard to applications for the use of the brake testing facility at Skandiahamnen in Göteborg, see instructions in the e-service on the Swedish Transport Administration's website and section When applying for international capacity, the internet-based tool Path Coordination System (PCS) may be used. Contact the Swedish Transport Administration OSS to gain access to the tool. For contact details, see Appendix 1.1. If the Path Coordination System is not used, the form Path request form is used, and can be found on The Swedish Transport Administration's website and at Ad hoc applications An application for capacity is made via the e-service on the Swedish Transport Administration's website, where instructions can be found (applicant requires authorisation) Application for capacity at operational sites An application for a train path is required for transportation over operational site boundaries, or between parts of a site, see section

4 The holding service must be applied for in all instances where vehicles are parked for longer than one hour per station that is included in the train path, but not before or after the train path. Applications for installation shall firstly be formulated on the basis of the desired track length and time for the holding not specific tracks. For more information, see the instructions in the e-service on the Swedish Transport Administration's website, see section A list of suitable tracks for holding is found in Appendix Schedule for path requests and allocation process The process is divided into: Allocation process that produces a one-year Timetable for the period 15/12/ /12/2014 Ad hoc process for updating the Timetable with new capacity requirements (e.g., the adjustment of allocated capacity or entirely new requirements). Schedule for allocation of capacity Reference to process map Date Activity 14/01/2013 Pre-planned train paths for international corridors ready 01/02/2013 First date for application in Timetable /04/2013 Last date for Timetable 2014 application. The last date for the Swedish Transport Administration to state capacity requirements for track work in excess of the planned major engineering works (PSB) 2 28/06/2013 Proposals for Timetable 2014 published 01/07/ /08/ /08/2013 Period for opinions and coordination relating to international border passage times Opinions on proposals for Timetable 2014 must have been received by the Swedish Transport Administration no later than 09:00. 20/08/2013 Establishment of international border passage times 3 05/08/ /08/2013 Coordination period 4 02/09/2013 Date of request for dispute resolution 12/09/2013 Dispute resolution concluded 5 12/09/2013 Decision to declare the infrastructure congested 6 18/09/2013 Capacity allocation with application of priority criteria 7 20/09/2013 Established Timetable 2014 published 27/10/2013 The ad hoc process begins 2

5 01/12/ /11/2013 The last date for the submission of announcement information for passenger trains in Timetable 2014 Last date of application for a transport permit to ensure that a Decision regarding transport permit has been made for the beginning of Timetable /12/2013 Timetable 2014 takes effect (traffic commencement) 1 2 Ansökan om kapacitet Förslag till tågplan 7 Fastställd tågplan 3 Samordning 4 Tvistlösning 5 Överbelastad bana 6 Tillämpning av prioriteringskriterier Genomföra kapacitetsanalys Genomföra kapacitetsförstärkningsplan Diagram 4.1. Schedule and process map for allocation of capacity Capacity prerequisites Engineering works Planned major engineering works (PSB) have been the subject of consultation before publication of the network statement, and these types of works constitute a number of the prerequisites for the allocation process, such as accessibility and speed on the railway network. All applications for capacity shall be customised around the PSBs listed in the network statement's Appendix 3.2, unless the Swedish Transport Administration has expressly stated otherwise. For example, a party could apply for a train path with a diversion around a PSB that is carried out on part of the railway network that has single-track operation. For the purpose of reducing the impact on traffic, the Swedish Transport Administration may bring forward or postpone the start time for the PSB (before the timetable is established), without affecting the total time required for the track work. For the ad hoc process, the established Timetable (where capacity allocation for engineering works is concerned) comprises the prerequisites for accessibility and speed on the railway network, among other things. All applications for capacity in 3

6 the ad hoc process shall be adapted to the established capacity allocation for the engineering works. Pre-planned train paths for international corridors No later than eleven months before traffic commencement of the Timetable, the pre-planned train paths for international corridors - defined within RailNetEurope (RNE) - are published. They are published at where more information about international traffic can be found. The intention with the pre-planned train paths is to show, at an early phase, a number of potential train paths for border-crossing traffic between places of general importance in the international perspective. The train paths are produced by infrastructure managers in consultation, and are allocated according to applications in the national allocation process. It is possible to apply to operate services according to the pre-planned train paths for both national and border-crossing train paths. If there are several applications, the border-crossing traffic has priority for the pre-planned train paths. Where the pre-planned train path is known at the time of application, the train path in the allocation process may give an international train priority over other national traffic applied for. When the Timetable is established, the pre-planned train paths can be the basis of an application for the remaining capacity. Bottleneck plans General Capacity limitations arise on parts of the railway network where the demand for train paths is higher than the available capacity. Applications for train paths cannot be satisfied entirely in this event. On lines with high capacity utilisation, it is even more important to develop conditions for the train traffic that are possible to meet with good transport quality. In order to utilise capacity efficiently in trafficintensive areas during periods with high traffic, the Swedish Transport Administration is developing bottleneck plans (Skåne, Mälardalen and the Göteborg area), see Appendix 4.4. The entire plans can be found on the Swedish Transport Administration's website. The bottleneck plans shall be used to plan conditions in the capacity allocation process. The purpose is: - to be able to achieve efficient utilisation of capacity in traffic-intensive areas through existing train path channels - to ensure punctuality by means of robust timetables - for them to provide support for planning upon application for train paths and during the construction of timetables. Content and validity The bottleneck plans contain information about infrastructure, traffic infrastructure and minimum time interval between trains, as well as information about the number of bookable train path channels. The train path channels describe how many trains can be driven on one section of line. The number of bookable train path channels is determined on the basis of 4

7 infrastructure and traffic infrastructure, as well as the punctuality and robustness in the traffic system. The bottleneck plans are based on the infrastructure being completed and fully operational. On those occasions when capacity is reduced, such as during maintenance work or reinvestments, reductions in the supply of traffic may be required. Extreme weather conditions can also require reductions in the supply of traffic. The performance of the vehicles is assumed to be sufficient when only one train path channel per train is used during those times when all train path channels are booked. The distribution of the proposed train path channels is not to be viewed as predetermined, but rather as a model of how they can be used to achieve an efficient utilisation of capacity. Departure and arrival times may deviate from the model. The pre-planned train paths for international corridors affect the bottleneck plans in Skåne, Göteborg and Mälardalen. Agreements concerning A-Trains traffic on the line Stockholm Central Arlanda affect the bottleneck plan for Mälardalen. Capacity at operational sites Capacity at operational sites is included in many access services, such as train paths, passenger stations, freight terminals, marshalling yards, train formation, holding services and maintenance facilities. The same track can be used at different times for several different access services at one operational site. An example of this is a track for the train formation and holding services. For tracks that can be used for several access services, an order of priority may be specified for the allocation of capacity in the event of a conflict of interest among several applications. These rules of priority may be viewed as guidance for how the Swedish Transport Administration will allocate capacity. Assessments are always based on the general rules of procedure. The access services are a prerequisite for the facilitation of additional services, regardless of whether or not the Swedish Transport Administration provides them. Additional services that the Swedish Transport Administration provide, and which assume capacity, are train formation services and services relating to special transportations and dangerous goods. Conflicts of interest can also arise when additional services use an access service, and certain guiding principles can be specified. One example is that shunting is attributed a higher value than holding at Hallsberg s marshalling yard. The applicant must design their application in accordance with the planned vehicle's properties and state the vehicle length in addition to the track number applied for. It is also important to include information on the train paths that the vehicles belong to. In support of the application for track capacity for Stockholm central and Malmö central, the Swedish Transport Administration will cite the guidelines for track usage. The guidelines are produced on the basis of previous train planning work. The guidelines do not constitute limitations in terms of how the capacity can be applied for; they suggest how the infrastructure should be used in order to achieve 5

8 efficient traffic operation and the greatest societal benefits, see section and Appendix 4.4. It is preferable for the applicant to participate actively in the process of allocating capacity at operational sites where the access services of marshalling and train formation are to be carried out. The Swedish Transport Administration also invites those who provide the additional services. Participation is important in the event of capacity shortages and conflicts of interest, in order to facilitate solutions that are effective for all actors. Guiding principles in the event of conflicts of interest at operational sites During the allocation of track capacity for holding, vehicles that can be linked to train production (train paths) have priority over other vehicles, see section During the allocation of track capacity at combi terminals and loading docks, section 3.7, applications that can be linked to unloading and loading of goods will be attributed a higher value than other use of the tracks (e.g., holding tracks) at these areas, see section During the allocation of capacity at marshalling yards, section 3.8.1, applications that can be linked to shunting will be valued higher than others, see section Track capacity for the holding of vehicles adjacent to a platform is normally only awarded for the embarkation and disembarkation of passengers, the replenishment of catering supplies and lighter operational maintenance, see section Track capacity for the holding of freight trains vehicles in connection to adjoining facilities, such as access to facilities within cargo terminals, is normally only awarded in direct association with the use of the relevant facility, see section The heating of railway vehicles service is offered to an entity that is simultaneously applying for holding space on the adjacent track, see section Schedule for working Timetable Applications for capacity that were received before 08/04/2013 are managed in the allocation process and result in an established Timetable. The Timetable encompasses the capacity allocation for the period 15/12/ /12/2014, with times scheduled to the exact minute Schedule for application outside the Timetabling process (ad hoc) Applications for capacity or adjustments to capacity that were received after 08/04/2013 are managed within the ad hoc process. Diagram 4.1 specifies when allocation in the ad hoc process begins. The ad hoc process entails that the applications are treated in the order that they were received, and responses sent within five working days. Specified in Appendix 3.3 are the time limits for an ad hoc application when additional monitoring of operational sites is necessary. 6

9 The track work of an acute nature may be planned at short notice, and for safety reasons must sometimes be allocated capacity that was previously allocated to another applicant in the established Timetable or ad hoc. 4.4 Allocation process Proposals for the Timetable Applications for capacity, both national and international, provide the basis of the Draft Annual Timetable. Capacity for international border passages is coordinated before the Draft Annual Timetable is published. This takes place at a conference managed by RNE. The coordinated proposals for border passage times that are relevant to the Timetable are presented as part of the Draft Annual Timetable. The applicant has the possibility of expressing their opinion on the proposed international border passage times. The statement of opinion is addressed to the Swedish Transport Administration. The infrastructure managers then coordinate and decide on the international border passage times. The date for their establishment is displayed in diagram 4.1. The part of capacity for cross-border traffic that does not involve the actual passage over borders is allocated in the national allocation process. The applicant is able to express their opinion on the Draft Annual Timetable. If the statements of opinion regarding the Draft Annual Timetable include the need for amendments, the coordination stage of the process begins. If no amendments are necessary, the Timetable can be established. The Draft Annual Timetable includes: - all received applications for train paths, national and international - the engineering works planned by the infrastructure managers - the need for reserve capacity for ad hoc applications pertaining to train paths, both national and international. - the need for reserve capacity for engineering works that cannot be booked in the allocation process - the need for reserve capacity for transportation of work vehicles - residual capacity - the need for capacity for services in accordance with section 5.3. When the Draft Annual Timetable is produced, the Swedish Transport Administration may contact the applicants informally. 7

10 4.4.1 Coordination process The aim of the process is to coordinate the needs of the applicants for capacity, in order to produce a Timetable without conflicts of interest. During the coordination, the Swedish Transport Administration may contact the applicants informally or invite them to the coordination meetings. This step of the process is only managed if conflicts of interest exist. If a conflict of interest is resolved during this step, the Timetable can be established Dispute resolution process If a conflict of interest does not seem as though it will be resolved during the coordination, the applicants that are involved in the conflict can request dispute resolution at a given point in time, see figure 4.1. A request for dispute resolution must be made in writing to the Swedish Transport Administration. When an applicant requests dispute resolution, they must at the same time submit to the Swedish Transport Administration a description of the conflict of interests, a description of the consequences for their own production and a justification of why the solution suggested during the coordination was not accepted. Along with a request for dispute resolution, an applicant may suggest other solutions to the conflict of interests. After the dispute resolution has been requested, the Swedish Transport Administration summons the parties involved to a dispute resolution consultation, where the Administration reports which solution was chosen, and the alternatives that were not chosen as well as the reasons why. This step of the process is only managed if one of the applicants requests a dispute resolution. If a conflict of interest is resolved during this step, the Timetable can be established Congested infrastructure - definition, priority criteria and process If a conflict of interests was not resolved during coordination or dispute resolution, the Swedish Transport Administration shall declare the relevant part of the infrastructure to be congested. The Swedish Transport Administration notifies the applicants of the decision and publishes it on the Administration's website. The decision shall contain information about which part of the infrastructure the conflict of interest relates to, at which times the problems arise, the parties that are involved, whether a resolution to the dispute has been attempted, and the reasons why the conflict could not be resolved. The decision to declare the infrastructure congested is a condition required for the Swedish Transport Administration to be able to unilaterally settle the conflict of interest. The Swedish Transport Administration then establishes the Timetable by using priority criteria. For details regarding the priority criteria, see Appendix

11 If the infrastructure is declared congested, a capacity analysis and a capacity reinforcement plan shall be developed. For details, see also sections and If it is clear that there will be a considerable capacity shortage on part of the infrastructure, the Swedish Transport Administration can declare that part congested prior to coordination. Priority criteria for resolving conflicts of interest If it has not been possible to coordinate the applications for infrastructure capacity, the Swedish Transport Administration will establish the Timetable by allocating capacity in accordance with the priority criteria. In this situation, the use of priority criteria means that the Swedish Transport Administration will settle conflicts of interest without asking for the voluntary acceptance from the applicant. The Swedish Transport Administration attempts to resolve the conflicts of interest that arise from the application for train paths, or during the coordination process. This takes place through voluntary agreements, and the priority criteria will become an importance source of information in this regard, for the purpose of achieving mutual understanding Impact of framework agreements The regulatory framework primarily regulates how the infrastructure manager invests, and the amount of traffic that should be expected or is offered. This can indirectly affect the total capacity on a certain part of the railway network. The regulatory agreement cannot cover a specific train path, see section For this reason, there can be no guarantees for a specific train path Capacity analysis Within six months of the infrastructure being declared congested, the Swedish Transport Administration publishes a capacity analysis on its website. The capacity analysis will be performed on the basis of the decision concerning congested infrastructure. The capacity analysis states: - the cause of the congestion - proposed methods to remedy the congested infrastructure - proposed measures in the short-term (up to one year) and the long-term (up to three years) Capacity reinforcement plan Within six months of the capacity analysis having been concluded, the Swedish Transport Administration publishes a capacity reinforcement plan on its website. 9

12 The plan is developed after consultation with users of the congested infrastructure, and states: - the cause of the congestion - the probable future traffic development - obstacles to infrastructure development - alternatives and costs for capacity reinforcement The capacity reinforcement plan also contains a cost and benefits analysis for possible measures, information about the measures which the Swedish Transport Administration intend to implement on the basis of this analysis, and a schedule for this work. The schedule encompasses a maximum of three years. The measures that are analysed and proposed may relate to the infrastructure, modifications to train paths or to the railway undertakings' vehicles and carriages. If there is a capacity reinforcement plan for the congested infrastructure, and if this plan is to be implemented, no new capacity analysis or reinforcement plan is produced Established the Timetable The capacity allocated is specified in the Draft Annual Timetable, which is presented on the Swedish Transport Administration's website. Capacity is reported in the form of: - allocated train paths, national and international - capacity reserved for engineering works - reserve capacity for ad hoc applications for train paths, both national and international. - reserve capacity for engineering works that cannot be booked in the allocation process - reserve capacity for transportation of work vehicles - remaining capacity - allocated services in accordance with section 5.3. An applicant may refer disputes to the Swedish Transport Administration regarding whether an infrastructure manager's decision concerning capacity allocation corresponds with the acts, or regulations stipulated with support of the acts. An application for a train path shall specify whether the train path was applied for on the behalf of the railway undertaking or traffic organiser. The entity that applied for the train path is the entity that it can be allocated to. In conjunction with the allocation of train paths, the applicant concludes a track access agreement with the Swedish Transport Administration. An entity that has been allocated a train path may not transfer it to another party. A train path shall not, however, be regarded as transferred if a traffic organiser engages a railway undertaking to operate the traffic. An entity that has transferred 10

13 a train path may be refused allocation of train paths during the current or next Timetable. See Chapter 6 of the Railway Act. 4.5 Allocation of capacity for maintenance, renewal and enhancements For major planned engineering works (PSB), see section The criteria for PSBs are described in section 3.5, and PSBs are presented in Appendix Process The Swedish Transport Administration shall specify the requirement for infrastructure capacity for planned engineering works in addition to PSB. Diagram 4.1 displays the point in time by which the requirement must be presented. Capacity requirements are shown on the Swedish Transport Administration's website. The process of allocating capacity for engineering work is described in section Allocated capacity that is not used Where allocated capacity will not be used, the Swedish Transport Administration shall be immediately informed that the capacity is available for other usage. An applicant that is allocated capacity, but has not used it to the appropriate extent, shall relinquish the capacity upon the request of the Swedish Transport Administration. This applies irrespective of whether the non-usage is a result of factors that are of a non-financial nature and that are beyond the owner's control. If allocated capacity is not used, this may be taken into consideration during the allocation of capacity in the future. 4.7 Exceptional transports and dangerous goods Capacity for exceptional transports An application for capacity is lodged in accordance with section 4.2. For transport terms and conditions and transport permits, see sections 2.5 and Train paths with dangerous goods If a train path involves the transportation of dangerous goods, this must be communicated when applying for the train path. An application for a train path is lodged in accordance with section 4.2. Transportation of dangerous goods must be reported in accordance with section

14 4.8 Specific measures in the event of disturbance Principles Guidelines for operational traffic management are issued prior to the creation of every Timetable. Capacity allocation in face of unforeseen events, such as railway accidents or other damage to the infrastructure, are determined by the Swedish Transport Administration on a case by case basis. In order to minimise the consequences and restore the capacity on the affected part of the railway network as soon as possible, there are specific procedures for the management of accidents. In the event of an accident or breakdown, State rescue services are responsible for rescue operations. The Swedish Transport Administration is responsible for clearance and the railway undertaking is responsible for recovery. The railway undertaking is responsible for reporting to the Swedish Transport Administration, prior to the commencement of traffic, concerning the resources it has available for recovery, or recovery agreements with other companies Operational regulation Trains that depart and operate in accordance with their timetable are given priority to their timetable position. The reasoning behind this rule is to prevent the disturbance of trains operating on time by trains that are delayed or early in relation to their timetables. Exceptions from this rule can be made in accordance with what is stated below. If the consequences of a disruption are particularly severe for certain trains, an applicant can submit a request for these trains to be given priority over other (on time) trains operated by the same applicant. Several applicants can also reach an agreement with one another whereby certain trains operating on time that belong to the same applicant are given a lower priority than individual trains of particular importance that belong to another applicant. These types of agreements must be reported in writing to the Swedish Transport Administration. A request for altered operational priority shall specify which trains are deemed to be particularly sensitive to disruptions, and the motives for this (for example, traffic information, connecting transportation, tight vehicle circulation). It must also be specified which trains the applicant is prepared to give up priority for. The request must be sent to the Swedish Transport Administration no later than in conjunction with the application for capacity. This is so that the request may be taken into consideration when the guidelines for prioritisation in traffic management are developed. Exceptions from the rules concerning prioritisation of on time trains can be made if special reasons exist, such as serious traffic disruptions, agreed deviations from the timetable, or if the traffic situation clearly calls for another action. The rule shall not apply in cases where it would lead to unreasonable consequences for the traffic as a whole. It has always been the goal of the Swedish Transport Administration to remove traffic disturbances as smoothly as possible and restore the traffic to the timetable. 12

15 4.8.3 Foreseen problems Prior to every autumn and winter, the Swedish Transport Administration will develop preparedness plans for skidding and snow clearance in consultation with the concerned parties, and describe the measures planned therein. See also General Terms and Conditions Unforeseen problems Clearance and emergency situations In clearance and emergency situations, a railway undertaking or traffic organiser shall, at the request of the infrastructure manager and in accordance with agreements between the parties, place such resources at the disposal of the infrastructure manager as it considers most suitable for restoring conditions to normal. See also General Terms and Conditions. Journeys with clearance vehicles and recovery of broken down vehicles within the accident site, as well as to and from it, are operated by the Swedish Transport Administration, or by a designated agent. The accident site refers to the area bordered by the closest unaffected operational sites on all sides of the site of the accident. In the event of vehicle breakdown, the railway undertaking may perform clearance of its own vehicles and other property after gaining the Swedish Transport Administration's approval. If it is not possible to reach an agreement over this, the Swedish Transport Administration will perform the clearance of the railway undertaking's vehicles and property. Prior to clearance, the railway undertaking shall temporarily earth its vehicles and ensure that necessary measures are taken. If the railway undertaking is using another model of pantograph or other vehicle, in accordance with Appendix 2.1, the railway undertaking shall submit photographs and other information to the Swedish Transport Administration. During clearance, the Swedish Transport Administration will fasten down or dismantle the railway undertaking's pantographs. In emergency situations, the Swedish Transport Administration can remove pantographs by whatever means the situation demands. The Swedish Transport Administration is not responsible for damage to pantographs unless it can be proven that the damage was caused by incorrect actions. If the railway undertaking's vehicles or pantograph model are not present in Appendix 2.1, or are otherwise different from the descriptions provided, the Swedish Transport Administration may request that the railway undertaking immediately send personnel of its own to the accident side. These personnel shall perform the temporary earthing and fastening down or dismantling of the pantographs. When clearance has been completed, the railway undertaking is responsible for the recovery of its own vehicles from the location specified by the Swedish Transport Administration. In order to minimise traffic disruptions, it is important that this is done as quickly as possible. If the vehicles are not towed within a reasonable time, 13

16 the Swedish Transport Administration will tow the railway undertaking's vehicles and property. The Swedish Transport Administration and the railway undertaking can reach an agreement that recovery may begin before clearance has been completed. Management of accidents The General Terms and Conditions specifies the procedures for management, reporting and coordination in the event of accidents and incidents, as well as deviations that give rise to risks for accidents involving railway traffic. Crisis situations In crisis situations, the Swedish Transport Administration has the right to make official decisions in its capacity as an authority, instead of simply a supplier of services. The decisions are made on the basis of social gains and function in society. The operational contact paths that apply during normal conditions shall also be used as far as possible during a crisis. 4.9 Allocation of capacity for service facilities See section 5.3 Track access services and access to adjoining facilities. 14